Annual Statement of Changes in Beneficial Ownership (5)
February 13 2018 - 5:16PM
Edgar (US Regulatory)
FORM 5
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
[ ]
Form 3 Holdings Reported
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Form 4 Transactions Reported
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0362
Estimated average burden
hours per response...
1.0
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
FEINSTEIN MICHAEL
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2. Issuer Name
and
Ticker or Trading Symbol
NOCOPI TECHNOLOGIES INC/MD/ [NNUP]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman of the Board
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(Last)
(First)
(Middle)
C/O NOCOPI TECHNOLOGIES INC.,, 480 SHOEMAKER ROAD, SUITE 104
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3. Statement for Issuer's Fiscal Year Ended
(MM/DD/YYYY)
12/31/2017
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(Street)
KING OF PRUSSIA, PA 19406
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form Filed by One Reporting Person
___ Form Filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
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7. Nature of Indirect Beneficial Ownership
(Instr. 4)
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Amount
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(A) or (D)
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Price
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Common stock, $.01 par value
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3/10/2017
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J
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908140
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D
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(1)
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1367741
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D
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Common stock, $.01 par value
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2/8/2006
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P
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164474
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A
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$0.15
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898474
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I
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By pension plan
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Common stock, $.01 par value
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1/9/2017
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P
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30000
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A
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$0.0345
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928474
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I
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By pension plan
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Common stock, $.01 par value
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1/9/2017
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P
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12000
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A
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$0.035
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940474
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I
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By pension plan
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Common stock, $.01 par value
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4/3/2017
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P
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23900
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A
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$0.0258
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123900
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I
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By IRA
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Common stock, $.01 par value
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4/3/2017
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P
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24112
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A
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$0.024
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148012
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I
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By IRA
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Common stock, $.01 par value
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4/4/2017
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P
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10000
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A
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$0.0261
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158012
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I
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By IRA
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Common stock, $.01 par value
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4/4/2017
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P
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50000
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A
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$0.0261
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208012
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I
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By IRA
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Common stock, $.01 par value
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4/4/2017
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P
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75000
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A
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$0.026
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283012
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I
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By IRA
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Common stock, $.01 par value
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4/4/2017
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P
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198
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A
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$0.024
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283210
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I
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By IRA
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Common stock, $.01 par value
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4/4/2017
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P
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55000
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A
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$0.026
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338210
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I
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By IRA
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Common stock, $.01 par value
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4/5/2017
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P
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10000
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A
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$0.0295
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348210
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I
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By IRA
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Common stock, $.01 par value
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4/5/2017
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P
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29200
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A
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$0.0299
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377410
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I
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By IRA
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Common stock, $.01 par value
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4/6/2017
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P
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30000
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A
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$0.0298
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407410
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I
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By IRA
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Common stock, $.01 par value
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4/6/2017
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P
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70000
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A
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$0.03
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477410
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I
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By IRA
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Common stock, $.01 par value
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4/7/2017
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P
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99977
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A
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$0.03
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577387
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I
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By IRA
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Common stock, $.01 par value
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4/10/2017
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P
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28750
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A
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$0.03
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606137
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I
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By IRA
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Common stock, $.01 par value
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4/12/2017
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P
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1500
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A
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$0.033
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607637
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I
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By IRA
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Common stock, $.01 par value
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4/13/2017
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P
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10000
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A
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$0.035
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617637
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I
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By IRA
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Common stock, $.01 par value
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4/13/2017
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P
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45631
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A
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$0.038
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663268
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I
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By IRA
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Common stock, $.01 par value
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4/13/2017
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P
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100000
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A
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$0.035
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763268
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I
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By IRA
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Common stock, $.01 par value
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4/18/2017
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P
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11000
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A
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$0.04
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774268
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I
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By IRA
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Common stock, $.01 par value
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4/19/2017
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P
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30000
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A
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$0.0448
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804268
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I
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By IRA
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Common stock, $.01 par value
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4/20/2017
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P
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30000
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A
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$0.0448
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834268
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I
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By IRA
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Common stock, $.01 par value
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4/24/2017
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P
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30600
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A
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$0.05
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864868
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I
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By IRA
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Common stock, $.01 par value
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4/25/2017
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P
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13000
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A
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$0.05
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877868
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I
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By IRA
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Common stock, $.01 par value
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4/26/2017
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P
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100000
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A
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$0.05
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977868
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I
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By IRA
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Common stock, $.01 par value
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4/27/2017
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P
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81000
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A
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$0.04
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1058868
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I
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By IRA
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Common stock, $.01 par value
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4/28/2017
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P
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90037
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A
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$0.039
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1148905
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I
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By IRA
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Common stock, $.01 par value
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5/3/2017
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P
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9963
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A
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$0.0375
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1158868
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I
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By IRA
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year
(Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Transfer in settlement.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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FEINSTEIN MICHAEL
C/O NOCOPI TECHNOLOGIES INC.,
480 SHOEMAKER ROAD, SUITE 104
KING OF PRUSSIA, PA 19406
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X
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Chairman of the Board
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Signatures
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Michael A. Feinstein
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2/13/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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